Legal & Compliance – Compliance Officer – VP – Private Bank
JPMorgan Chase Co. is a leading global financial services firm with assets of more than $2 trillion, over 200,000 employees and operations in over 60 countries. It operates across four business segments including Asset Wealth Management, Commercial Banking, Consumer and Community Banking, Corporate and Investment Banking. The Wealth Management division of JPMorgan Chase Co. is part of the Asset Wealth Management business segment. It has offered for over 160 years customised solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families Read more […]
VP
VP – Compliance (AML Sanctions) Our client is a leading Global Corporate and Investment Bank. As part of their growth, they are seeking an experienced Compliance professional to take on the role of VP – Compliance focusing on AML Sanctions. – Update and implement KYC procedures in line with local regulatory requirements and Head Office requirements – Initiate Client Acceptance Committee (CAC) for High Sensitive and High Risk PEP clients and attend CAC meetings – Conduct second level control checks on clients onboarded and recertified by Business and Client Management Team – Conduct second Read more […]
Head Compliance
98743BRThe Head Compliance will be responsible for providing comprehensive advisory and control services to UBS’ Business in the French speaking region of Switzerland. The Head Compliance is responsible for leading a team of currently seven compliance professionals. Leadership of the team includes promoting the team across the Business Groups in the region, developing and coaching where appropriate and motivating team members to deliver outstanding levels of service that reflect best practice in the industry. Moreover, leadership includes the maintenance of an appropriate/best in class compliance Read more […]
Private Banking Compliance Advisor
Candidates should have the following skills and experience: *In depth understanding of UK regulations. *In depth understanding of the day to day operations of a bank *In depth understanding of private banking products, their structures, the risks associated with them and how they are impacted by legislation. *Ability to interpret these regulations, produce and communicate procedures and policies. *Excellent planning and organisational skills. *Ability to work on own initiative and with a high degree of independence. *Relationship building skills – both internal and external. *Excellent written Read more […]
Associate Director
This incumbent is reporting to Head of Private Banking Compliance in Legal Compliance Division. Responsibilities: Handle all HKMA RI registration related matters; Coordinate and assist to handle/ respond to regulatory reporting, enquiries, surveys, examinations, etc.; Coordinate and assist to handle/ respond to internal (e.g. Head Office) reporting and enquiries; Provide ongoing guidance/ advice to the Private Banking business on compliance and regulatory requirements; Perform transaction monitoring after account activation; identify and report any irregular/ suspicious transactions; Assist to Read more […]
SVP, Monitoring
Well Regarded Foreign Bank Newly Created Role Excellent Exposure We are working with a well regarded foreign bank to strengthen their Risk and Compliance team. In line with this mission, they are seeking for an experienced and dynamic candidate to take up this newly created position of Senior Vice President, Monitoring for Regulatory Compliance and Financial Crime Compliance, Singapore. The principal responsibility for this position will be overseeing a monitoring framework across numerous business lines in Singapore including Markets, Commercial Banking, Retail, Wealth and Private Banking, and Read more […]
VP – Asset Management
Our client, a renowned US investment management firm seeks an experienced legal counsel with previous asset management experience in-house or an experienced funds lawyer from a leading private practise law firm in Hong Kong. The successful candidate will cover PRC related issues and accordingly will require fluent or native Mandarin language skills.Competitive remuneration and benefits packageFor an initial confidential discussion and a full description please contact Hayden Gordine at Taylor Root on +852 2973 6333 or haydengordine@taylorroot.com. Please note our advertisements use PQE/salary Read more […]
Risk Projects – Equities and Funds Management
New role is now available at a big 4 domestic bank in a risk projects role with a focus on equities and asset management. Our client is looking for someone with experience implementing risk frameworks and has a broad understanding of Global Markets operations and the inherent risks.This role will provide strategic direction in ensuring the operational risks being faced by the organisation are adequately adressed and mitigated.Duties will entail-Responsible for identification of operational risks and delivery of the operational risk management process and culture in the organisationProcess improvement Read more […]
Director, Compliance
Position Description Fidelity’s Institutional Compliance group (FI) provides compliance services to Fidelity’s institutional businesses, including Fidelity Institutional Wealth Services (IWS), National Financial (NF), Operations and Services group (OSG), Fidelity Family Office Services (FFOS) and Fidelity Capital Markets (FCM). The Director of Regulatory Response will be the primary interface between Fidelity Institutional and the SEC, FINRA and other regulators. The Director will utilize — (i) expert technical advice in crafting responses to regulatory inquiries, (ii) excellent Read more […]
IN-HOUSE – REGULATORY/EMIR
Excellent new role with a top tier global investment bank for a lawyer with a broad range of regulatory experience. You will have a wide-ranging advisory role with a predominant focus on EMIR. You will have involvement in our client’s approach and response to regulatory changes and developments and have direct access to senior stakeholders. You will be a qualified lawyer of circa 5+ PQE, with strong experience in areas such as EMIR, central clearing and exchange traded markets. You will also bring a wider understanding of the regulatory environment and initiatives such as MiFID II, Basel III and Read more […]